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Alam and Ahmad, IJPSR, 2013; Vol. 4(7): 2441-2449.

ISSN: 0975-8232

IJPSR (2013), Vol. 4, Issue 7 (Review Article)

Received on 01 March, 2013; received in revised form, 21 April, 2013; accepted, 17 June, 2013

PHARMACEUTICAL TECHNOLOGY TRANSFER: AN OVERVIEW


Md. Shoaib Alam*1 and Javed Ahmad 2
PDL – Formulation; Ranbaxy Laboratories Limited 1, Paonta Sahib-173025, Himachal Pradesh, India
Department of Pharmaceutics, Faculty of Pharmacy, Jamia Hamdard (Hamdard University) 2, New Delhi -
110062, India
Keywords: ABSTRACT: The article attempts to discuss the issues associated with
technology transfer in the pharmaceutical industry. A major decision
Technology Transfer, Technology
Transfer Process, Stages of Technology focuses on that point where the idea or process is advanced from a
Transfer, Technology Transfer Dossier research- oriented program to target toward commercialization. The
success of any program is highly dependent on the effectiveness of the
Correspondence to Author: communication preceding its implementation. The ultimate goal for
successful technology transfer is to have documented evidence that the
Md. Shoaib Alam
manufacturing processes for drug substances and drug product,
Research Scientist, PDL-Formulation; respectively, are robust and effective in producing the drug substances
Ranbaxy Laboratories Limited, Paonta and drug product complying with the registered specifications and Good
Sahib-173025, Himachal Pradesh, Manufacturing Practice requirements. The Pharmaceutical Technology
India Transfer activities are to transfer product and process knowledge between
development and manufacturing, and within or between manufacturing sites to
E-mail: shoaib.Alam@ranbaxy.com
achieve product realisation. This knowledge forms the basis for the
manufacturing process, control strategy, process validation approach and
ongoing continual improvement. To take all the gathered knowledge and use it
as the basis for the manufacturing control strategy, the approach to process
qualification and on-going continuous improvement.

INTRODUCTION: The technology transfer This knowledge forms the basis for the
throughout the life cycle as well as transfers of manufacturing process, control strategy, process
manufacturing processes from one site to another validation approach and ongoing continual
during the commercial production phase 1. improvement 3. The goal of technology transfer
activities is to transfer product and process
In the pharmaceutical industry, “technology transfer” knowledge between development and manufacturing,
refers to the processes that are needed for successful and within or between manufacturing sites to achieve
progress from drug discovery to product product realization.
development to clinical trials to full-scale
commercialization 2. This review articles is also intended to propose some
regulations to realize technology transfer necessary
QUICK RESPONSE CODE for high quality and stable manufacturing of
DOI:
10.13040/IJPSR.0975-8232.4(7).2441-49
developed products and existing products by
reviewing technology transfer based on the following
ideas.
Article can be accessed online on:
www.ijpsr.com

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Alam and Ahmad, IJPSR, 2013; Vol. 4(7): 2441-2449. ISSN: 0975-8232

 The technology transfer means actions to  Embodiment of Quality by Specifications.


transfer information and technologies necessary
to realize quality of design of drugs during  Documentation Management and Update of
manufacturing. Technical Information.

 Appropriate technology transfer is important to Technology Transfer Process: The drug quality is
upgrade the quality of design to be the quality of designed based on basic data concerning efficacy and
product, and ensure stable and high quality of safety obtained from various studies in preclinical
the product. phases and data concerning efficacy, safety and
stability of drug products obtained from clinical
 It should be noted that drugs may influence studies. The quality of design will be almost
human lives and health, and their raw materials, completed in Phase II clinical study. Various
compositions and manufacturing methods are standards for manufacturing and tests will be
changed during their long term manufacturing established in process of reviewing factory
and marketing. production and Phase III study to realize the quality
of design, and the quality of design will be verified
 To assure the drug quality, it is desired to make, in various validation studies, and will be upgraded to
that is what, when and why information should be the quality of product, and the actual production
be transferred to where and by whom and how to will be started. The technology transfer consists of
transfer, then share knowledge and information actions taken in these flows of development to
of the drug product between transferring and realize the quality as designed during the
transferred parties. manufacture. Even if the production starts, the
technology transfer will take place in processes such
 The technology transfer does not mean one time as changes in manufacturing places. The processes
actions taken by the transferring party toward are classified broadly into the following five
the transferred party, but means continuous categories.
information exchange between the both parties
to maintain the product manufacturing. 1. Quality Design (Research Phase): The quality
design is to design properties and functions of
Definition of Technology Transfer: Technology drugs, and often performed in phases from late
transfer usually involves some source of technology preclinical studies to Phase II study. For drug
that possess specialized technical skills, which products, the quality design corresponds to so-
transfers the technology to a target group that do not called pharmaceutical design to design
possess those specialized technical skills, and who properties and functions such as elimination of
therefore cannot create the tool themselves 4, 5. adverse reactions, improvement of efficacy,
Technology transfer often involves the licensing of assurance of stability during distribution, and
intellectual property rights and extending property adding usefulness based on various data such as
rights and technical expertise to developing firms. In chemical and physical properties, efficacy,
the pharmaceutical industry, “technology transfer” safety and stability obtained from preclinical
refers to the processes of successful progress from studies 8. For drug substances, the quality design
drug discovery to product development, clinical trials is to determine starting materials and their
and ultimately full-scale commercialization 6. It is reaction paths, and basic specifications of the
the process by which an original innovator of drug substances.
technology makes its technology available to
commercial partner that will exploit the technology 7. 2. Scale-up and Detection of Quality Variability
Factors (Development Phase):
Basic Policies on the Establishment of the
Guideline for the Technology Transfer a. Research for Factory Production: To
manufacture drugs with qualities as designed, it
 Assurance of consistency through is required to establish appropriate quality
development and manufacturing. control method and manufacturing method,
after detecting variability factors to secure

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Alam and Ahmad, IJPSR, 2013; Vol. 4(7): 2441-2449. ISSN: 0975-8232

stable quality in the scale-up validation that is method to determine whether a drug to be
performed to realize factory production of manufactured meets the quality of design.
drugs designed on the basis of results from
small-scale experiments. In general, this 3. Technology Transfer from R&D to
process is called the research for factory Production: Transfer of technical information is
production where the quality of design will be necessary to realize manufacturing formula
upgraded to be the quality of product. established in the above in the actual production
facility. When transfer technology of new
b. Consistency between Quality and products from research and development
Specification: When the product specification department to production department, technical
is established on the basis of the quality of information to be transferred should be complied
product determined in the above, it is required as research and development report
to verify that the specification adequately (development report and recommend using the
specifies the product quality. In short, the development report as a part of technology
consistency between quality and specification transfer documentations).
is to ensure in the product specification that the
quality predetermined in the quality design is 4. Validation and Production (Production
assured as the manufacturing quality, and the Phase): Production is implemented after various
product satisfies the quality of design. validation studies verify that it is able to stably
Manufacturing methods are established with produce based on transferred manufacturing
limited amount of lots and limited resources of formula. While the manufacturing facility
raw materials, the product specification should accepting technology is responsible for
be established based on data from study results validation, the research and development
with limited lots; however, relations between department transferring technology should take
upper and lower limits of manufacturing responsibility for validations such as
formula (compositions and manufacturing performance qualification (PQ), cleaning
methods) and upper and lower of control limits validation, and process validation (PV) unique to
of the product specification should be fully subject drugs. For validations such as
understood, and the consistency between the installation qualification (IQ) and operational
product quality and specification should be qualification (OQ), which are not unique to the
maintained. subject drugs, it is possible to effectively use
data of already implemented validations.
Also, since initial manufacturing formula and
specification are established based on limited 5. Feedback of Information Generated from
information, the consistency between the Production Phase and Technology Transfer
quality and specification should be fully of Marketed Products: As a result of
verified after the start of manufacturing, and technology transfer, products are manufactured
the consistency should be revised through and brought to the hands of consumers. Since
appropriate change controls, if necessary. the technical information of developed products
are obtained from data of a limited amount of
c. Assurance of consistency through batches, various standards have been established
development and manufacturing: To make from the limited data, and quality evaluation
developed product have indications as method established in development phase is not
predetermined in clinical phases, the quality of always sufficient for factory production, it is
design should be reproducible as the quality of highly desired to feedback and accumulate
product (assurance of consistency). For this technical information obtained from repeated
purpose, the transferring party in charge of production, if necessary.
development should fully understand what kind
of technical information is required by the Also, it is important to appropriately modify
transferred party in charge of manufacturing, various standards established before on the basis
and should establish an appropriate evaluation of these information, and accountability
(responsibility for giving sufficient explanation)

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and responsibility (responsibility for outcomes Effective Factors in Technology Transfer: Eight
of actions) for design and manufacturing should factors are critical in terms of creating favorable
be executed. For this purpose, appropriate conditions for pharmaceutical technical transfers 9:
feedback system for technical information and
documentation management of technology 1. A viable and accessible local market;
transfer should be established. For drugs as they
have long product shelf life, documentation 2. Political stability, good economic
management should be performed assuming that governance;
the technology transfer would occur several
decades after the completion of development. 3. Clear development priorities;
Also since product improvements and changes
4. Effective regulation;
of specifications and methods are often
implemented, the initial technical information 5. Availability of skilled workers;
should be reviewed and updated at regular
intervals. 6. Adequate capital markets;
For this kind of documentation management and 7. Strong intellectual property rights (IPR) and
information updating, it is desirable to establish effective enforcement;
product specification describing entire
characteristics of the product in addition to the 8. Quality of the relationship between industry
development report, which is to be revised and and government, and the extent they are able
updated regularly. Also as in the case of to work together effectively for long periods
technology transfer from research and of time.
development to production, responsibilities for
the technology transfer should be clearly In the technology transfer process, the entire
defined, documentation of technology transfer elements of the technology triangle (Figure 1) are to
should be prepared, and the technology transfer be transferred into organizations and not impose
should be implemented through adequate them solely into technology’s hardware parts. Thus,
exchanges of technical information. they should be fully cognizant of their capabilities
and requirements before launching technology
transfer.

FIGURE 1: TECHNOLOGY TRANSFER PROCESS

Actually, technological evaluation, requirements and for technology recipients. The paper identified and
capacities recognition and selection of technology classified effective factors on technology transfer
methods are of vital importance in the technology into seven main criteria each of which covers a set of
transfer process 10. Thus, awareness of effective sub-criteria which have been indicated in Table 1.
factors on technology transfer is of great importance
TABLE 1: EFFECTIVE FACTORS IN TECHNOLOGY TRANSFER 11, 12

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Alam and Ahmad, IJPSR, 2013; Vol. 4(7): 2441-2449. ISSN: 0975-8232

Factors and Main Criteria Sub-Criteria


Factors relative to technology Long-run strategic planning in technology development; Investment in R&D; and
recipient organization Development of managerial and organizing skills in organizations.
Capability in absorption of importing technology; Establishing relationship between
Factors of Absorption and
production and research; Training of individual relative to technology; and Interaction
Application
with different international centers in technology cooperation areas.
Information development in the field of technology transfer methods; Modification of
Cultural Factors cultural value systems in organizations; and Diffusion of scientific attitude in
organizations.
Localizing importing technology; Employment of entrepreneur managers; and Creation
Structural Factors
of standards and capabilities in companies.
Organizational infrastructure; Equipmental infrastructure; Informational infrastructure;
Infrastructural Factors
and Human infrastructure.
Personnel training in international valid companies; Employment of international
Global Factors specialist in the field of technology; and Creation of appropriate relationship between
recipient and sender technology.
Degree of achieving technology; Degree of transferred technology price; Degree of
Technological Factors simplicity and complicity of the technology; and Degree of development and
improvement of technology on the basis of internal requirements.

The Anatomy of Technology Transfer in the Strong market mechanisms provide the starting
Pharmaceutical Sector: point - Foreign Direct Investment (FDI) is by far the
main channel of technology transfer, but other
It’s much more than simply handing over “market mechanisms” such as licensing agreements,
technology - The transfer of R&D pharmaceuticals royalties and joint ventures are necessary channels
is providing a “tool box”. It occurs through many for transferring R&D pharmaceutical technologies.
channels, all of which result in improving the Through regulation and investment, governments can
economic capabilities of the recipient. Following one help to create the right conditions for technology
definition 13, we identify the following elements; markets to function.

 “Techno-ware”: for the pharmaceutical Complex map of technology transfer - The


industry this would include the transfer of research-based pharmaceutical industry, like most
physical objects such as equipment for use in other industries, is seeing the newly industrialized
research laboratories or production equipment countries and other middle-income countries
for manufacture of pharmaceuticals increasingly relying on technology transfer to access
ingredients, or formulation or packaging of advanced foreign technologies and grow their
final products; domestic capabilities. The research-based
pharmaceutical industry’s track record is proof that
 “Human-ware”: skills and human aspects of in the public health arena, the historical demarcation
technology management and learning, such as lines such as “North-South” are being replaced by
a training course for researchers or general more complex networks of technology transfer. The
practitioners across the world Technology above trend is not always shared by low income
transfer can also create positive spillover countries, and is therefore sometimes characterized
effects into associated industries and into the by an exposure to foreign technologies and weak
supporting public sector research absorptive capacity. This creates a particular
infrastructure; challenge for R&D pharmaceutical technology
transfer and means that those parts of the world least
 “Info-ware”: all techniques related to equipped to benefit today from technology transfer
knowledge, information and technology; in are among those who need its products the most.
the form of a technology license;
The Right Conditions for Pharmaceutical
 ”Orga-ware”: organizational and procedural Technical Transfer- Commercial opportunities are
knowledge needed to operate a given paramount for the private sector when considering
technology relating to a chemical or technology transfer, but if the basic conditions are
biological compound.

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right, non-commercial reasons may also play a part. drug product, analytical methods, and packaging
This is particularly true in advanced technology requirements.
sectors, especially when this might provide an
opportunity to open a market to a specific The key activities for each of these work streams are
technology. Many countries are already well aligned with good laboratory practices or current
positioned in terms of R&D pharmaceutical good manufacturing practices to ensure consistent
technology transfers. Pharmaceutical and vaccine and controlled manufacturing of a high-quality
manufacturers consider a variety of factors in product. In addition, there are specific activities to
evaluating potential technology transfer ventures. address program management, documentation, and
Many of these are influenced by government policy site readiness requirements. These stages help to
decisions. The most effective role for governments is optimize these transfer work streams and activities
one of creating optimal enabling conditions, linked to by:
the country’s overall economic policy objectives.
 Addressing potential manufacturing
A government’s willingness to create optimal equipment and processing constraints in the
conditions to attract technology is a strong initial process design stages
determinant of whether transfers will be directed
towards their domestic industrial sector. For all  Ensuring that only the necessary transfer
investors, political stability and the rule of law are activities will be executed to avoid interfering
prerequisites. What research-based pharmaceutical with new product launches
companies are looking for in prospective recipient
countries includes:  Managing compliance and regulatory
activities
 Promising market scale and accessibility;
 Allocating assets more efficiently to support
 Political stability and good, transparent both ongoing production and transfer
governance; activities

 Appropriate capital markets;  Establishing integrated plans (key activities,


dependencies, inputs/outputs, and
 Innovation-friendly environment with deliverables) between the sending and
adequate intellectual property rights and receiving parties.
effective enforcement;
Technology Transfer Documentation: To properly
 Proper access to information; transfer technology according to the above processes,
documentation of technology transfer including
 Adherence to high regulatory standards; appropriate procedures and technical documents is
necessary. Procedures and documentation of
 Skilled workforce; technology transfer are indicated as follows. The raw
data of the documents (such as development report)
 Clear economic development priorities. should be prepared and compiled according to
purposes, and should be always readily available and
Stages of Technology Transfer: Typically, traceable. For successful technology transfer, task
technology transfer occurs during one of five stages assignments and responsibilities should be clarified,
in the product's lifecycle: early discovery, and acceptance criteria for the completion of
toxicological evaluation, clinical development, scale- technology transfer concerning individual technology
up and commercial manufacturing, and in-line to be transferred.
production 4, 5. Each stage involves a different type
of transfer, rationale, and key participants. This In principle, it is desirable to prepare product
transfer stages consists of good-practice guidelines specification with detailed information of product
and comprehensive templates that integrate the (drug substances or drug products) subject to
concurrent transfer work streams of drug substance, transfer, then proceed with the technology transfer

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according to the technology transfer plan established  Rationale for dosage form and formula
on the basis of this specification, and document the designs
results as the technology transfer report. For that
purpose, the following technical information should  Rationale for design of manufacturing
be transferred. methods

 The R&D department should clarify  Rational and change histories of important
considerations of GMP compliance specific processes and control parameters
to subject drugs and manufacturing methods
(manufacturing processes), and present them  Quality profiles of manufacturing batches
to a facility and equipment department. (including stability data)

 The facility and equipment department  Specifications and test methods of drug
should establish facilities and equipments substances, intermediates, drug products, raw
reflecting the above considerations, clearly materials, and components, and their
details of the establishment and operational rationale (validity of specification range of
considerations of those facilities and important tests such as contents, impurities
equipments, and present them to a drug and dissolution, rationale for selection of test
manufacturing department. methods, regents, and columns, and
traceability of raw data of those information)
 The drug manufacturing department should
fully understand the above information, (2) Product Specification (Product Specification
implement validations, and perform File): The product specification is to compile
appropriate operations and controls in information which enables the manufacture of
conformity to the established facilities and the product, and to define specification,
equipments, and records results of operations manufacturing and evaluation methods of the
and controls. product and its quality, and the transferring party
is responsible for documenting the file 14. The
(1) Research and Development Report: The product specification file should be reviewed at
research and development report (development regular intervals, and incorporate various
report) is a file of technical information informations obtained after the start of
necessary for drug manufacturing, which is production of the product, and be revised as
obtained from pharmaceutical development, and appropriate. The product specification file
the research and development department is in should contain the following.
charge of its documentation. This report is an
important file to indicate rationale for the quality  Information necessary for the start and
design of drug substances and drug products continuation of product manufacturing
including information such as raw materials,
components, manufacturing methods,  Information necessary for quality assurance
specifications and test methods. The following of the product
exemplifies information to be contained in the
development report.  Information necessary for assurance of
operation safety
 Historical data of pharmaceutical
development of new drug substances and  Information necessary for environmental
drug products at stages from early impact assessment
development phase to final application of
approval  Information of costs

 Raw materials and components  Other specific information of the product

 Synthetic route

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(3) Technology Transfer Plan: The technology  Environmental, Health and safety
transfer plan is to describe items and contents of requirements
technology to be transferred and detailed
procedures of individual transfer and transfer  Proposed Master Formula
schedule, and establish judgment criteria for the
completion of the transfer. The transferring party  Detailed description of the process
should prepare the plan before the
implementation of the transfer, and reach an  Critical parameters of the process
agreement on its contents with the transferred
party 15.  Shipping requirements

 Standard test procedures for Raw


materials/packing materials/in-
(4) Technology Transfer Report: The technology process/Finished product specifications.
transfer report is to report the completion of
technology transfer after data of actions taken  Finished Product Specifications
according to the technology plan is evaluated
and the data is confirmed pursuant to the  Special Sampling requirements if any
predetermined judgment criteria 16. Both
transferring and transferred parties can  Stability testing requirement
document the technology transfer report;
however, they should reach an agreement on its  Product Development Report.
contents 17.
CONCLUSION: In pharmaceutical industry,
(5) Approval by Quality Assurance Department: technology transfer means action to transfer of
It is desirable that the quality assurance information and technologies necessary to realize
department should establish confirmation quality of design of drugs during manufacturing. The
process for all kinds of technology transfer three primary considerations to be addressed during
documentation, and should check and approve an effective technology transfer are the plan, the
the documentation. persons involved, and the process. A plan must be
devised to organize the personnel and the process
Technology Transfer Dossier (TTD): The steps. Once prepared, the plan must be
site/designee shall receive a Technology Transfer communicated to the involved parties in research, at
Dossier from R & D to another manufacturing site. the corporate level and at the production site. The
The following items are part of dossier. technology transfer does not mean one-time actions
taken by the transferring party toward the transferred
 Molecule information party, but means continuous information exchange
between both the parties to maintain the product
 Proposes Markets manufacturing. To assure the drug quality, it is desire
to make sure that is what, when, and why
 Master Formula Card information should be transferred to where and by
whom and how to transfer, then share knowledge and
 Master Packaging Card information of the technology transfer each other
between stake holders related to drug manufacturing.
 Storage Requirements
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How to cite this article:


Alam MS and Ahmad J: Pharmaceutical Technology Transfer: An Overview. Int J Pharm Sci Res 2013: 4(7); 2441-2449. doi:
10.13040/IJPSR. 0975-8232.4(7).2441-49
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